Examination Manager -Trading Specialist

To ensure completion of risk-based examinations of FINRA member firms and registered representatives

Essential Job Functions:

• Manage 4 to 6 Examination staff
• Manage direct reports’ performance on an ongoing basis
• Schedule and staff exams
• Review and approve risk and risk identification reviews; execute reviews as needed
• Review and approve exam-related work, reports and letters (i.e. strategy, exit, exam, disposition, etc.)
• Empower direct reports to make decisions relating to the completion of reviews appropriate for their level and expertise
• Train and mentor exam staff and direct reports
• Promote open dialogue and communicate key issues to staff and senior management

Education/Experience Requirements:

• Bachelor's Degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Economics, Business Administration or related fields preferred.
• MBA, JD, other graduate degree and/or relevant industry certification(s) preferred
• Significant securities, compliance or financial regulatory experience
• Moderate experience managing projects and/or people

Knowledge Requirements:

• Advanced knowledge of FINRA's risk fundamentals 
• Advanced knowledge of securities rules and regulations
• Advanced knowledge of firm business models, business lines, customer bases, products and services
• Advanced knowledge of rule changes and interpretations
• Advanced knowledge of industry wide events and trends affecting FINRA's exam program
• Advanced knowledge of FINRA departments and their mandates

Skill Requirements:

• Proficient in utilizing available resources
• Advanced ability to recognize and understand the relationship and impact between regulatory areas
• Advanced ability to manage time effectively and complete examinations within the budgeted time frames
• Advanced ability to effectively liaise with internal and external parties
• Advanced ability to identify and prioritize risk
• Advanced ability to inspire and motivate direct reports
• Advanced relationship building skills
• Advanced ability to make timely decisions

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

CA: Minimum Salary $124,300, Maximum Salary $235,500

CO/HI/MN/VT*: Minimum Salary $108,200, Maximum Salary $196,200

IL*: Minimum Salary $119,200, Maximum Salary $215,900
Jersey City, NJ/NYC, NY: Minimum Salary $129,800, Maximum Salary $235,500

MA/WA: Minimum Salary $108,200, Maximum Salary $225,700

MD/Washington, DC: Minimum Salary $124,300, Maximum Salary $225,700

NJ: Minimum Salary $119,200, Maximum $235,500

NY: Minimum Salary $108,200, Maximum Salary $235,500

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

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